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Introduction to Recordkeeping

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Presentation on theme: "Introduction to Recordkeeping"— Presentation transcript:

1 Introduction to Recordkeeping
A basic introduction for employees of Queensland public authorities This training presentation focuses on providing an introduction to general employees of Queensland public authorities who have limited understanding of their recordkeeping responsibilities. It assumes the agency has implemented processes and systems for managing records and that there is an officer responsible for managing this. It does not cover the activities associated with designing and managing these processes and systems, but focuses on communicating to general staff about basic recordkeeping responsibilities. Trainers may wish to take this presentation and amend or add additional slides to incorporate local practices and processes. 1 of 13

2 Training Outcomes Understanding the importance of recordkeeping, and your key recordkeeping responsibilities Ability to distinguish between what is and what is not a public record Understanding when a record should be created, kept and managed and when it can be lawfully deleted or destroyed Ability to identify the key recordkeeping legislation and standards for Queensland public authorities

3 Presentation Overview
What is a public record? The legislative and regulatory context Why undertake recordkeeping? What are my recordkeeping responsibilities? Key things to remember Recordkeeping Quiz

4 What is a public record? 1 of 13

5 What is a public record? A public record is any form of recorded information, both received and created, that provides evidence of the decisions and actions of a public authority while undertaking its business activities.

6 In what form are public records?
Public records may be in any form, including: Paper, microfilm, electronic Documents, files, maps, plans, drawings, photographs Data from business systems, word-processed documents, spreadsheets, , web pages Computer files on a floppy or hard disk Audio, video or optical media such as cassettes, video tapes, CDs and DVDs.

7 What types of information are public records?
Examples of what is a public record Any data within a database or information system that documents business processes or actions Agendas, papers and minutes Draft documents that contain significant annotations or were submitted for approval or comment by others Records generated from a project or policy initiative A work related that documents an action or decision Correspondence Information related to the business activity of the agency that has been published on an agency’s website

8 What types of information are not public records?
Examples of what is not a public record Non-circulated drafts of reports or correspondence (e.g. drafts containing minor grammatical amendments) Advertising brochures from an external provider Informational material that includes lists of suppliers, catalogues, directories and addresses Unsolicited s or letters advertising products or services An about an afternoon tea for a work colleague who is leaving

9 The legislative and regulatory context
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10 Key components of the broader Information Management legislative framework
Right to Information Information Privacy Public Records Act 2002 Right to Information Act 2009 Information Privacy Act 2009 An Act to ensure Queensland public records are: created managed kept preserved, and accessible An Act to provide access to government information: proactively through publication schemes and administrative release through legislative processes unless, on balance, it is contrary to the public interest to give access An Act to provide: statutory obligations for agencies to protect information privacy a right to access personal information unless, on balance, it is contrary to the public interest to give access a right to amend personal information

11 What is the Recordkeeping Policy Framework?
See QSA’s website for further information - Legislation Public Records Act 2002 Recordkeeping Information Standards IS40: Recordkeeping IS31: Retention & Disposal of Public Records IS34: Metadata IS18: Information Security Policies Managing s that are public records Managing records of online resources and services Queensland Record-keeping Metadata Standard Digitisation Disposal Policy Microfilm Disposal Policy As at July 2009

12 What does the Public Records Act 2002 require?
Public authorities must: Create and maintain ‘full and accurate’ public records Dispose of public records in accordance with the disposal requirements authorised by the State Archivist Provide authorised access to public records.

13 Information Standard 40: Recordkeeping (IS40)
A Standard to assist public authorities to meet their recordkeeping obligations in accordance with the Public Records Act 2002 Contains seven principles for compliant and accountable recordkeeping

14 Attributes of ‘full and accurate’ records
created authentic captured inviolate adequate accessible complete useable meaningful retained accurate preserved

15 Information Standard 31: Retention & Disposal of Public Records (IS31)
A standard to ensure public records are: Identified and retained for the appropriate length of time Accessible Unable to be altered, and Protected where confidentiality or privacy is required.

16 Why undertake recordkeeping?
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17 Why create, manage and keep records?
To provide evidence of actions and decisions of government business To ensure accountability and transparency within government To promote the effective and efficient management of government business and service delivery.

18 How does good recordkeeping help me?
provides evidence of your business activity helps you to do your job more efficiently helps you to make more informed business decisions enables you to meet legislative obligations enables access to corporate information protects the interests of the Government and of your public authority

19 What are my recordkeeping responsibilities?
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20 Do I have recordkeeping responsibilities?
Every Queensland public authority employee has recordkeeping responsibilities to make and keep public records of their activities This includes contract staff and consultants working for Queensland public authorities

21 What are my recordkeeping responsibilities?
Queensland public authority employees must undertake and maintain good recordkeeping practices. For example, you must: create records of your business activities and decisions create records that are adequate for their purpose create records that are accurate so as to reflect what was communicated, decided or done manage public records by placing them into the corporate recordkeeping system or business system maintain records in line with your agency’s recordkeeping and information management policies.

22 What are my recordkeeping responsibilities?
You must not: Destroy, delete or alter records without authority Remove records without permission Lose records that are in your care Provide inappropriate access to restricted records

23 When should I make a record?
You should make a record if you need to show: What happened What advice or instruction was given What decision was made What approval was given When a transaction took place Who was involved The order of events and/or decisions. For example, create records of: meetings where business decisions are made including an agenda, meeting papers and minutes internal or external correspondence you send or receive that involve the provision of advice, instructions, decisions, approvals or recommendations. work related verbal communications that involve the provision of advice, instructions, decisions, approvals or recommendations. This includes phone calls, voice mail messages and conversations with your supervisor/manager.

24 What sort of information do I need to record?
Information that provides evidence of the business activity, for example: Date of the discussion or business activity Details of your name and other involved stakeholders Key discussion points Details of instructions or advice provided Approvals, decisions and recommendations made.

25 Where should I keep records?
Records should be captured into recordkeeping systems Recordkeeping systems are not: Your private store Disks systems Personal or shared drives Recordkeeping systems: Make records easily accessible Ensure records are appropriately managed Ensure records are disposed of in accordance with an authorised Retention and Disposal Schedule. However, information within these types of systems may be public records

26 How long do records need to be kept?
Minimum retention periods for records are authorised by the State Archivist through: General Retention & Disposal Schedule for Administrative Records Agency or sector specific Retention & Disposal Schedules.

27 Can I delete or dispose of records?
Public records captured into recordkeeping systems enable disposal in accordance with a Retention & Disposal Schedule approved by the State Archivist Copies of public records may be deleted or disposed of, once the original has been captured into the corporate recordkeeping system* *Note there are specific requirements regarding the disposal of original paper records after digitisation – see your Records Manager for further information.

28 Key things to remember 1 of 13

29 If yes, you must create a record.
Ask yourself… Was this activity the result of: conducting business? making a business decision? undertaking a business action? providing advice? sending business related correspondence? receiving business related correspondence from external sources? If yes, you must create a record.

30 Don’t forget… Disposal of public records without authorisation from the State Archivist is unlawful. Make sure public records are placed into your agency’s recordkeeping system so that they can be managed and disposed of lawfully

31 Want to know more? Talk to your Records Manager (insert details)
Visit your agency’s intranet site (insert details) Visit Contact Queensland State Archives on (07) or

32 Recordkeeping Quiz 1 of 13

33 Recordkeeping Quiz What benefits do you gain from performing recordkeeping? I am able to make more informed business decisions I am able to demonstrate evidence of my business activities, the authority given and advice received I am able to find things more easily All of the above Correct answer d

34 Recordkeeping Quiz Which of these is NOT a public record?
An from your supervisor approving the commencement of a project A brochure sent to you by a stationery supplier A note of a conversation where it was agreed to procure a service A policy position on child protection published on an agency’s website Correct answer b A, C and D are all evidence of decisions made in the course of business.

35 Recordkeeping Quiz The Public Records Act 2002 requires public authorities to: Dispose of public records when records are no longer needed for business purposes Scan all public records to have a complete digital collection Create and maintain full and accurate public records Make all public records available online Correct answer C Incorrect. While records cannot be disposed of without the permission of the State Archivist, the act does not REQUIRE disposal. Incorrect. D. Incorrect.

36 Recordkeeping Quiz Which of these are characteristics of full and accurate records? Adequate Concise Lengthy Meaningful Correct Incorrect Depending on what is adequate for the importance of the business activity and meaningful for others, a record may be concise OR lengthy.

37 Recordkeeping Quiz Records that document more important or higher risk transactions or processes need to be more detailed than records which document low risk activities. True False A is correct. This relates to the characteristic of ‘adequate’ records.

38 Recordkeeping Quiz I can delete records I have created when I no longer need them. True False B is Correct. Permission is required from the State Archivist through a retention and disposal schedule

39 Recordkeeping Quiz Records need to be kept: Forever
For a time period decided by senior management For different lengths of time, as documented in a Retention and Disposal schedule authorised by the State Archivist C is correct. The different lengths of time may include ‘forever’ – or ‘retain permanently’ in the language of a retention and disposal schedule. Schedules are also signed off by senior management before submission to the State Archivist, so their approval is also important. However, under the Public Records Act disposal must be authorised by the State Archivist.

40 Recordkeeping Quiz A recordkeeping system is:
An eDRMS (electronic document and records management system) An system A shared network drive The technology, people, principles, methods, processes and information systems which capture, manage, dispose of and provide access to records through time All of the above Correct answers a. and d. Correct b. Incorrect c. Incorrect d. Correct e. Incorrect

41 Recordkeeping Quiz I’ve engaged an external contractor to develop a report for my agency. She is responsible for recordkeeping associated with the report. True False B is correct. External/private contractors are not subject to the provisions of the Public Records Act 2002 and are not required to keep records. However, the contractor is performing a business activity for the public authority and it is the public authority’s responsibility to make and keep records of that business activity. Records also need to be made and kept of the process of engaging the contractor.

42 Recordkeeping Quiz I must create adequate and accurate records of my business activity and capture these into a recordkeeping system. True False A is correct. This is the primary recordkeeping responsibility of all government employees.

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